Job Title: KYC Operations Associate Vice President

Corporate Title: Associate / Vice President

Department: Operations

Location: New York, NY

The pay range for this position at commencement of employment is expected to be between $130K and $160K/year* (see below footnote for additional compensation and benefits information).

Department Overview:

Nomura's CSG (Client Services Group) is a dynamic division of Nomura Wholesale Operations that drives client success across the globe - providing client onboarding, KYC diligence, client outreach, entity data management and sales support. As part of our prestigious Global Markets KYC team, you will serve as a key ambassador for one of the world's leading financial institutions while spearheading transformative KYC and due diligence initiatives, proactively identifying risks, and driving process improvements across the US market.

Role Description:

• Lead End-to-End KYC Due Diligence: Take ownership of the comprehensive KYC due diligence lifecycle for new-to-bank and existing client relationships, serving as the expert guardian and primary advocate ensuring all clients successfully navigate regulatory requirements before relationship approval.
• Drive Regulatory Precision & Risk Assessment: Analyse client data, documentation, and negative news to determine accurate risk profiles. Oversee comprehensive KYC reviews including Customer Identification Program (CIP), Customer Due Diligence (CDD), Enhanced Due Diligence (EDD), AML screening, sanctions checks, and adverse media reviews - ensuring flawless compliance with firm procedures.
• Assist with Leading Strategic KYC Initiatives: Identify and implement strategies to optimize end-to-end KYC processes, serving as an executive sponsor and primary relationship manager throughout complex regulatory and operational workflows. Lead rolling reviews, periodic reassessments, and special projects that drive meaningful improvements in compliance excellence.
• Risk Assessment Innovation: Proactively resolve complex KYC challenges by leveraging your analytical expertise, regulatory knowledge, and network of business partners - coordinating strategic risk assessments with global teams while escalating appropriately through management to deliver seamless compliance outcomes.
• Orchestrate Cross-Functional Collaboration: Serve as a central KYC facilitator, seamlessly coordinating across internal stakeholders (i.e., Client Onboarding, Compliance, Business and Global Reference Data teams) to deliver streamlined onboarding experiences and timely client approvals.
• Foster Strategic Compliance Partnerships: Maintain continuous expert communication with global and local counterparts, ensuring transparency and sustained regulatory momentum that reflects our commitment to compliance excellence.
• Become a Regulatory Innovation Partner: Master KYC platforms, skillfully navigate complex AML/KYC requirements (Patriot Act, Section 312, MiFID), and build valuable expertise across diverse regulatory landscapes while driving meaningful improvements in operational excellence and making a real impact on compliance outcomes.
• Lead Process Excellence Initiatives: Drive organizational transformation through strategic KYC process improvement, leveraging senior stakeholder relationships and providing executive guidance to enhance compliance efficiency, risk management outcomes, and client satisfaction.
• Senior Collaborator: Expertise in building and maintaining senior-level internal and external relationships across global and local stakeholders, articulating complex regulatory concepts with strong communication skills and the ability to identify strategic growth opportunities.
• Project Leadership: Proven ability to lead strategic KYC initiatives, anticipate regulatory changes and business needs, manage cross-functional teams, and execute complex deliverables within timeframes.
• Financial Services & Compliance Expertise: Deep understanding of financial services compliance operations with demonstrated success in building strategic relationships that drive regulatory excellence, business growth, and market development.
• Results-Driven Achiever: Thrive with an instinctive sense of urgency in high-volume environments, taking swift, purposeful action that delivers exceptional compliance outcomes.
• Proactive Leader: Take ownership of your KYC success by anticipating regulatory needs and executing to meet critical deadlines.
• Compliance Champion: Shine in regulatory interactions with polished professionalism that elevates every KYC engagement.

Skills, experience, qualifications and knowledge required:

• 7+ years of KYC/AML experience with proven expertise in regulatory compliance, dealing with financial institutional clients.
• Deep knowledge of US AML/KYC/BSA regulations with ability to navigate complex compliance requirements (Patriot Act, Section 312, MiFID).
• Strong knowledge of CIP, CDD, EDD, beneficial ownership requirements, and PEP/sanctions screening.
• Proven track record of project leadership in dynamic, fast-paced environments where you thrive under pressure. Demonstration of outstanding project management skills with ability to work in a deadline-driven environment.
• Natural talent for analytical precision and client-focused service with excellent written and verbal communication skills across all levels.
• Team player with exceptional ability to build consensus across global teams.
• Organized with high attention to detail and able to problem-solve complex regulatory challenges quickly and efficiently.
• Ability to manage high-volume KYC cases and periodic reassessments, while being flexible and dynamic in execution.
• Knowledge of Microsoft Suite, SharePoint, and PowerBI is a plus.
• Familiarity with KYC platforms and case management systems (e.g. World-Check, Dow Jones) preferred.
• Series 99 certification preferred. (Mandatory within 6 months of hiring)
• Desirable: Knowledge of UK/EMEA regulations, ACAMS certification.

Nomura Leadership Behaviours

• Explore Insights & Vision: Identify the underlying causes of problems faced by you or your team and define a clear vision and direction for the future.
• Making Strategic Decisions: Evaluate all the options for resolving the problems and effectively prioritize actions or recommendations.
• Inspire Entrepreneurship in People: Inspire team members through effective communication of ideas and motivate them to actively enhance productivity.
• Elevate Organizational Capability: Engage proactively in professional development and enhance team productivity through the promotion of knowledge sharing.
• Inclusion: Foster a culture of inclusion and psychological safety in the workplace and cultivate a "Risk Culture" (Challenge, Escalate and Respect).

* base pay offered may vary depending on multiple individualized factors, including market location, corporate and functional title and duties, job-related knowledge and advanced degrees, skills, and experience. The total compensation package for this position may also include other elements, including a sign-on bonus, restricted stock units, and discretionary awards in addition to a full range of medical, financial, and/or other benefits (including 401(k) eligibility and various paid time off benefits, such as vacation, sick time, and parental leave), dependent on the position offered. Details of participation in these benefit plans will be provided if an employee receives an offer of employment.

If hired in the U.S., employee will be in an "at-will position" and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time, including for reasons related to individual performance, Company or individual department/team performance, and market factors".